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Exemptive Orders Archive: 2006

Additional Archives

Release No. Date Details
34-54766 Nov. 16, 2006 Order Granting the New York Stock Exchange Inc.s (n/k/a the New York Stock Exchange LLC) Application for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934
File No.:   S7-06-05
34-54714 Nov. 6, 2006 Order Granting National Securities Exchanges a Limited Exemption from Rule 612 of Regulation NMS under the Securities Exchange Act of 1934 to Permit Acceptance by Exchanges of Certain Sub-Penny Orders
34-54678 Oct. 31, 2006 Order Exempting Certain Sub-Penny Trade-Throughs from Rule 611 of Regulation NMS under the Securities Exchange Act of 1934
34-54544 Sep. 29, 2006 Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Broker" under Section 3(a)(4) of the Securities Exchange Act of 1934
File No.: S7-12-01
34-54389 Aug. 31, 2006 Order Granting an Exemption for Qualified Contingent Trades from Rule 611(a) of Regulation NMS under the Securities Exchange Act of 1934
34-54241 Jul. 31, 2006 In the Matter of the Application of the Nasdaq Stock Market, Inc. and the NASDAQ Stock Market LLC for an Exemption from Section 12(a) Allowing Trading of Certain Unregistered Securities
See also: Request for Relief from 12 of the Securities Exchange Act of 1934
34-53856 May 24, 2006 Order Granting Exemption to NYSE Market, Inc. and NYSE Arca, L.L.C. from Requirement to Register as a Securities Information Processor
34-53667 Apr. 18, 2006 Order Exempting Computershare Trust Company of Canada and Computershare Investor Services Inc. from Broker Registration
34-53193 Jan. 30, 2006 Order Granting Exemption to Liquidnet, Inc. from Certain Provisions of Rule 612 of Regulation NMS under the Securities Exchange Act of 1934

 

http://www.sec.gov/rules/exorders/exordersarchive/exorders2006.shtml


Modified: 01/21/2009